WARREN CAPITAL MANAGEMENT, INC.

B64
CRD 137449·SEC 801-121205·CHARLESTON, SC
AUM
$131.0M
$100M-$500M
Est. Revenue
$1.3M
@ 1% on AUM
Est. EBITDA
$393K
@ 30% margin
Est. Deal Value
$3.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
WARREN CAPITAL MANAGEMENT, INC.
CRD
137449
SEC file #
801-121205
EIN
DBA names
Warren Capital Group

Economics

AUM
$131.0M
AUM band
$100M-$500M
AUM trajectory
'22'26
$115.1M → $131.0M▲ +14%
Client mix
Individuals Other114
Individuals High Net Worth67
Pension Profit Sharing Plans4
Corporations2
Investment Companies1

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'22'26
4 advisors → 3 advisors▼ -25%
Primary office
CHARLESTON SC
Branches

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — investment companies
Fee basis
% of AUM

Filings

Latest ADV filing
03/26/2026
ADV-W filed at

Compliance

Disclosures (firm)
0
Trademark
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
WARREN, JOSEPH, RICHARD
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
WARREN, JOSEPH, RICHARD
ALLEN, PARKER, STELLING
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:warren.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Top Owner CRD
2957268
Trust Company Affiliate
No